FIF - Financial Information Forum

FIF Rule 606 Working Group

The FIF Rule 606 Working Group will meet on Thursday, July 29, 2021 at 11 am ET to provide an update on FIF’s recent discussions with the SEC staff. In June, FIF submitted to the SEC staff a request for written guidance relating to the Rule 606 reporting of options routing, the Rule 606 reporting of various ATS scenarios, and the Rule 606 definition of customer. FIF and the SEC staff discussed this letter during a call on July 19, 2021. During the July 19 call, the SEC staff requested that FIF submit in writing detailed scenarios relating to options routing. On the July 29 call, Working Group members will review and comment on a draft letter to the SEC that includes these options routing scenarios.

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The Financial Information Forum (FIF) addresses the implementation issues that impact the financial technology industry across the order lifecycle.

 

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FIF prepares comment letters and discussion documents based on member input that contribute to changes in implementation time frames and methodology.

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FIF forms topic-oriented working groups to address implementation issues associated with new initiatives.
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